Slightly more than half of our compliance projects are the result of court appointments to monitor individuals and businesses during a criminal investigation to prevent further wrongdoing and ensure that assets of the business are not depleted. We are also involved in creating, facilitating and implementing compliance programs to help ensure that companies do not engage in unlawful conduct going forward. The remainder of our compliance work comes from private relation by the firm's corporations hiring us to investigate corporate officers or employees suspected of wrongdoing, or hiring us to investigate their practices while a criminal investigation is underway.

Below are some examples of recent compliance projects.

Monitor for waste disposal businesses engaging in RICO and antitrust violations.

United States v. Gigante, 96 Cr. 466 (JSR) (S.D.N.Y.) Based on his extensive experience prosecuting organized crime cases, Walter Mack was appointed as Monitor by the Hon. Jed S. Rakoff for six individual defendants and thirteen companies engaged in the waste disposal business. While the indictment, charging the defendants with RICO and antitrust violations, was pending, Mr. Mack, together with Amy Rothstein, monitored the defendants to prevent additional unlawful conduct and dissipation of company assets. After pleas of guilty were entered, Mr. Mack was designated Monitor for the corporate defendants for an additional five-year period. Mr. Mack and Ms. Rothstein are assisted by a team of private auditors and investigators and have worked to develop a code of ethics for the companies.

Monitor for carting companies engaging in organized crime. United States v. Hickey's Carting, Inc., 96 Cr. 693 (DRH) (E.D.N.Y.) The Hon. Dennis Hurley appointed Walter Mack Monitor for three carting companies while they were under indictment for organized crime-related activities. Together with a team of investigators and auditors, Mr. Mack and Amy Rothstein oversaw the companies' daily activities for compliance with state and federal law, preservation of assets and compliance with bail conditions. Subsequent to the companies' guilty pleas, Judge Hurley ordered that Mr. Mack continue as Monitor. The monitorship continued until the companies were sold.

Investigative attorney prosecuting organized crime association and other misconduct under ethical practices code for labor union. Investigative Attorney: Laborers' International Union of North America. Walter Mack served as Investigative Attorney in New York for LIUNA to enforce the ethical practices code that was adopted pursuant to an agreement between LIUNA and the United States Department of Justice. Working with the investigative group, Mr. Mack, together with Amy. Rothstein, investigated and prosecuted allegations of organized crime association and other misconduct as defined in the union's ethical practices code.

Monitor for Waste Management to ensure compliance with licensing order and local laws. Waste Management of New York, Inc. Appointed jointly by the New York City Trade Waste Commission and the company, Walter Mack and former counsel to the firm, Susan Shepard, monitored Waste Management of New York to facilitate compliance with the terms of its licensing order and local law and regulations. Working with our investigative group and company audit and compliance personnel, they also developed a compliance plan and internal reporting procedures and conducted internal investigations.

Monitor for companies engaged in tax conspiracy.
A Construction Company and Painting Contractor retained Walter Mack in order to rehabilitate their performance and reputation after the principal officer of both companies agreed to plead guilty in a tax conspiracy case. Mr. Mack and Mr. Rivera have developed and implemented rigorous procedures to oversee the companies’ ongoing operations including drafting a Code of Conduct and providing ethics training to the companies’ employees. Working closely with a team of auditors and investigators to review and certify company books and records, interview workers, and visit work sites on a random basis, Mr. Mack and Mr. Rivera regularly review ongoing projects with the companies’ principals. The companies are now permitted to obtain contracts for work from City and State agencies and we provide regular written reports to those agencies.

Investigator of construction and bidding practices.
A Real Estate Ownership Group retained Walter Mack to investigate construction and bidding practices of companies managing a number of major buildings in New York City. Our team of investigators and forensic accountants, working with Mr. Mack, interviewed witnesses, reviewed books and records, and forged a working relationship with the local prosecuting office.

Investigator / Consultant for private school investigating child abuse allegations.

A Private School retained Amy Rothstein to supervise the Board of Directors' investigation into allegations of child abuse.

Investigator of contractor violating prevailing wage laws. The New York City School Construction Authority retained Walter Mack as an Independent Auditing Firm to examine the records of a contractor suspected of violating prevailing wage laws. David Rivera and our investigative group interviewed workers, reviewed the company’s computer files, payroll-related documents and other books and records, and prepared a report calculating the amounts owed to workers for benefits, overtime, and prevailing wage violations.

Monitor of construction company engaging in restraint of trade, bribery and grand larceny.
A Construction Company: Walter Mack was retained as the Monitor of a construction company pursuant to a plea agreement between the New York County District Attorney and the company’s owner, who pled guilty to restraint of trade, bribery and grand larceny. Mr. Mack, David. Rivera and the investigative group are implementing rigorous compliance procedures which include routinely reviewing the company’s books and records, enacting a Code of Conduct and ethics training program, making unannounced work-site visits on a random basis, and closely supervising the company’s ongoing projects.

Investigator: A non-profit organization retained Amy Rothstein to investigate allegations of financial improprieties and abusive managerial conduct.

Special Master Appointment

Amy Rothstein was appointed by the Second Circuit Court of Appeals as a Special Master over the law practice of a New York City attorney.